Notification of material change or event About this form

Notification of material change or event

About this form

Material change or event

Application fee

Submitting the form

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Declaration by chief executive officer/ principal executive officer

2.1.1

2.1.2

2.1.3

2.1.4

2.1.5

2.1.6

I certify that all information provided in this form is complete, true and correct.

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It is a condition of registration under the National Vocational Education and Training Regulator Act 2011 that a registered training organisation (RTO) must notify ASQA about any:

material changes that occur to its management or operations, or
events that would significantly affect its ability to comply with the VET Quality Framework.

It is a condition of registration of the Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) that a registered provider must notify ASQA (as its designated authority) about changes to the provider’s ownership or management.

Note

You need to complete this form to provide written notification of a material change or event that has occurred to your organisation as either a RTO or a CRICOS provider.

You should also use this form to notify ASQA of a change to your organisation’s operations that may require a change to your registering body. RTOs with principal place of business in Victoria or Western Australia can only remain registered through ASQA while they continue to conduct delivery in an ASQA referring jurisdiction (i.e. ACT, NSW, Tas, SA, NT, Qld) or to international students.

A material change includes changes to an RTO’s or a CRICOS provider’s:

chief executive officer/principal executive officer/executive officer/high managerial agent
financial administration status
legal name or type of legal entity
ownership, directorship and/or control (including sale of RTO business).

An event that may significantly affect the RTO’s ability to comply with the VET Quality Framework would include events such as:

information arising that may impact on the ‘Fit and Proper Person’ status of an influential representative of the RTO or CRICOS provider
significant change to a fundamental funding/revenue source of the RTO (eg. Government funding contract allocation)
significant change to the RTO’s business strategy driven by a change to Government policy
commencing delivery to apprentices or trainees employed under a training contract, or
another significant event not classified elsewhere.

Some changes may affect the organisation’s registration status. ASQA will investigate all material changes and events and inform the organisation about any further action required.

This form must not be used for the following changes:

To advise ASQA of commencing or dissolving a third party service arrangement with another organisation (use Third Party Service Notification form in ASQANet)
General registration contact details or permanent RTO delivery sites (use Notification of change of provider details form.
RTO scope of registration (use ‘Application to change RTO scope of registration’ form in ASQAnet)
CRICOS scope of registration, including courses or delivery sites or capacity (use Application to amend CRICOS registration).

There are four sections to this form:

Section 1—Provider details
Section 2—Material change
Section 3—Significant event
Section 4—Declaration by chief executive/principal executive officer

This symbol has been used throughout this form to indicate that additional information must be attached to the form.

There is no fee to notify ASQA of a material change or event.

You can update your details by emailing this form to notifications@asqa.gov.au.

Alternatively, you may post your completed form to:

Registration
Australian Skills Quality Authority
GPO Box 9928
Melbourne Vic 3001

Your form must be accompanied by the required attachments. Incomplete or incorrect forms will be returned to you for completion.

For help with this form, please contact the registration team by email at enquiries@asqa.gov.au. Further information about notifying of material changes or events is available from the ASQA website.

You can also call the ASQA info line on 1300 701 801, 9.00 am to 7.00 pm EST, Monday – Friday.

Details

1.1Details of the provider

Material change

1.2Details of change/s

Indicate, by placing an X in the box, what changes have occurred (and provide the new details).

	New chief executive officer (CEO) of RTO—Provide details
Name of new chief executive
Title:		Surname:		Given name(s):
Contact details
Phone:			Mobile (if relevant):
Email:			Fax (if relevant):

For change of chief executive officer, please attach a Chief Executive Statutory Declaration and a Fit and Proper Person Requirements Statutory Declaration signed by the chief executive officer.

	New principal executive officer (PEO) for CRICOS purposes—provide details
Name of PEO
Title:		Surname:		Given name(s):
Contact details
Phone:			Mobile (if relevant):
Email:			Fax (if relevant):

For change of PEO, please attach a Fit and Proper Person Requirements Statutory Declaration signed by the new PEO.

New executive officer/high managerial agent—provide details for each high managerial agent

Executive officer—

A person, by whatever name called, and whether or not a director of the organisation, who is concerned in, or takes part in the management of the organisation: or
If the organisation is body corporate:

A person who, at any time during a period for which the organisation is registered, owns 15% or more of dividends paid by the organisation; or
a person who, at any time during a period for which the organisation is registered, is entitled to receive 15% or more of dividends paid by the organisation; or
the administrator of a deed of company arrangement executed by an organisation; or
a trustee or other person administering a compromise or arrangement made between the organisation and another person or other persons; or

An administrator, receiver or manager, or liquidator of the organisation (other than a receiver and manager, or liquidator, appointed by the court).

High managerial agent—

An employee or agent of the organisation with duties of such responsibility that his or her conduct may fairly be assumed to represent the organisation in relation to the business or providing courses (‘course’ means a course of vocational education and training).

A person or entity which exercises a degree of control or influence over the management or direction of the RTO includes those who make, or participate in making, decisions that affect the business of the applicant, or who have the capacity to significantly affect future operations and financial standing.

For companies, the details of all directors and shareholders must align to records held by the Australian Securities and investment Commission (ASIC).

Name of executive officer/high managerial agent
Title:	Surname:		Given name(s):
Contact details
Phone:		Mobile (if relevant):
Email:		Fax (if relevant):

Name of executive officer/high managerial agent
Title:	Surname:		Given name(s):
Contact details
Phone:		Mobile (if relevant):
Email:		Fax (if relevant):

For change of executive officer/high managerial agent, please attach:

a Fit and Proper Person Requirements Statutory Declaration signed by each executive officer/high managerial agent including all members of the Board of Directors
an organisation chart that reflects the new ownership, structure and reporting lines of the RTO
a full ASIC report listing all details of the company
a full ASIC report listing all details of the parent company if the parent company is not a natural person.

	Change to legal name but not legal entity—provide details
Change to legal name
New legal name:
Has the change occurred?
Date change occurred:
Date change expected:

For change of legal name, please attach:

a full ASIC report listing all details of the company
a full ASIC report listing all details of the parent company if the parent company is not a natural person
an organisation chart that reflects the new ownership, structure and reporting lines of the RTO.

	Change to legal entity which has registration—provide details
Change to legal entity
Provide a detailed description of the change: (Box will expand as you type your response)

Has the change occurred?
Date change occurred:
Date change expected:

Please note:

The National Vocational Education and Training Regulator Act 2011 has no provision for RTO registration to be transferred from one legal entity to another legal entity. This also applies to the scope of registration and to the learners.

The new legal entity is required to apply to ASQA for registration in its own right. This means that the organisation must submit an ‘Application for initial registration’ to ASQA (using an ASQAnet application) and pay the requisite fee(s). ASQA may undertake a full site audit of the applicant. Further information about this process can be found on the ASQA website.

	Change in ownership and/or control (including sale of business)—Provide details
Change in ownership and/or control
Provide a detailed description of the change: (Box will expand as you type your response)

Has the change occurred?
Date change occurred:
Date change expected:

For change in ownership and/or control, please attach:

a full ASIC report listing all details of the Company
a full ASIC report listing all details of the parent company if the parent company is not a natural person
an organisation chart that reflects the new ownership, structure and reporting lines of the RTO
a Chief Executive Officer Statutory Declaration signed by the new chief executive
a Fit and Proper Person Requirements Statutory Declaration signed by each executive officer/high managerial agent including all members of the Board of Directors.

2.1.7

	Change to financial administration status, for example, bankruptcy or liquidation—Provide details
Change to financial administration status
Provide a detailed description of the change: (Box will expand as you type your response)

Has the change occurred?
Date change occurred:
Date change expected:
Contact person:
Title:		Surname:		Given name(s):
Contact details:
Phone:			Mobile (if relevant):
Email:			Fax (if relevant):

Significant event

A significant event is an event that may significantly affect the RTO’s ability to comply with the VET Quality Framework. Examples of what may constitute a significant event include:

information arising that may impact on the ‘Fit and Proper Person’ status of an influential representative of the RTO or CRICOS provider
significant change to a fundamental funding/revenue source of the RTO (eg. Government funding contract allocation)
significant change to the RTO’s business strategy driven by a change to Government policy
commencing delivery to apprentices or trainees employed under a training contract, or
another significant event not classified elsewhere.
Note
Notification of the commencement or cessation of a third party service arrangement with another organisation must be submitted via ASQANet.

	Significant event—provide details
Significant event
Provide a detailed description of the event: (Box will expand as you type your response)

Has the change occurred?
Date change occurred:
Date change expected:
Contact person:
Title:		Surname:		Given name(s):
Contact details:
Phone:			Mobile (if relevant):
Email:			Fax (if relevant):

[This must be the chief executive officer/principal executive officer who is currently listed on training.gov.au or PRISMS]

Name of legal entity:

RTO number (if relevant):

CRICOS provider number (if relevant):

State/Territory:

If CRICOS – change relates to:

Chief executive/principal executive officer
Name:
Signature:			Date:
Witness
Name:
Organisation (if not employee):
Signature:			Date:

Note

Forms must be accompanied by the required attachments. Incomplete or incorrect forms will be returned to you for completion.

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